W1M Asset Management Limited

• Principal Place of Business

  16 Babmaes Street

  London

  Westminster

  SW1Y 6AH

  UNITED KINGDOM

  Phone

  +4402046172000

  Web

  https://www.w1m.com

• Complaints Contact

  16 Babmaes Street

  London

  Westminster

  SW1Y 6AH

  UNITED KINGDOM

  Phone

  +4402046172000

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Robert Jonathan Richard Matthews

  IRN RJM01486

  • CF30 Customer (4 Aug 2014 to 4 Oct 2018)
• Robert Paul

  IRN RCP01091

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 5 Aug 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (26 Nov 2013 to 8 Dec 2019)
• Roger Graeme Jones

  IRN RGJ01019

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2025)
  • CF30 Customer (20 May 2016 to 8 Dec 2019)
• Rory Burrough

  IRN RXB01989

  • [FCA CF] Functions requiring qualifications (20 Dec 2019 to 3 Apr 2020)
  • [FCA CF] Client dealing (20 Dec 2019 to 3 Apr 2020)
• Rose Maureen Wangui Masaka

  IRN RXM00296

  • 3. Giving personal recommendations on derivatives
  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Manager of certification employee (since 16 Mar 2026)
  • [FCA CF] Functions requiring qualifications (since 4 Mar 2020)
  • [FCA CF] Client dealing (since 4 Mar 2020)
• Ryan Jade Kennelly

  IRN RJK01111

  • CF30 Customer (1 Nov 2007 to 17 Mar 2008)
  • CF27 Investment Management (4 Dec 2006 to 31 Oct 2007)
• Sanjay Joshi

  IRN SXJ01190

  • [FCA CF] Material risk taker (9 Dec 2019 to 23 Jan 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 23 Jan 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 23 Jan 2025)
  • CF30 Customer (16 Nov 2009 to 8 Dec 2019)
  • CF27 Investment Management (11 Nov 2002 to 30 Nov 2006)
• Scott Russell Gibb

  IRN SRG01060

  • [FCA CF] Client dealing (31 Mar 2023 to 31 Dec 2024)
• Sean Christopher Doyle

  IRN SCD01078

  • 14. Managing investments
  • 13. Giving personal recommendations on and dealing with derivatives
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 16 Mar 2026)
  • [FCA CF] Material risk taker (9 Dec 2019 to 16 Mar 2026)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (23 Nov 2006 to 31 Oct 2007)
• Shadrack Kwasa

  IRN SXO01495

  • [FCA CF] Client dealing (since 9 Dec 2019)

• SPA ETF Europe Ltd (no longer appointed)

  FRN 469855 · Appointed 4 Jul 2007 · Until 6 Dec 2010

No changes recorded yet.